Investor Recovery Center is Closed
As of September 1, 2008, Vincent DiCarlo, who maintained this site, is no longer engaged in the private practice of law. His former law office website is at.
This site is no longer maintained, may no longer be accurate,and is provided for historical purposes.  See disclaimer below.
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How to Get Your Money When Your Broker Done You Wrong

This site contains information about how you can recover when your stockbroker, investment advisor, or financial planner has been guilty of fraud, misrepresentation, unsuitable recommendations, unauthorized trades, excessive trading (churning), failure to follow instructions, or other misconduct.

In an apparent effort to disguise the fact that the fox is in charge of the chicken coop, the National Association of Securities Dealers (NASD) has renamed itself the Financial Industry Regulatory Authority (FINRA).  You may still see references to the old name here and elsewhere for quite a while.

Do You Have a Claim for Stockbroker Fraud Worth Pursuing? Court or Arbitration for Stockbroker Fraud? Do it Yourself or Get Help? How We Can Help Other Resources:


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DISCLAIMER: Vincent DiCarlo, who authored and maintained this site, has entered government service and, as of September 1, 2008, is no longer engaged in the private practice of law.  Therefore, this site is no longer being maintained,  may not be accurate, and should not be relied upon.  It is not now and was not ever intended as legal advice.  It is being provided for historical purposes, and for the benefit of those lawyers who are capable of independently verifying the information and judging the opinions in it, and then reaching their own conclusions.  You are strongly advised to consult qualified legal counsel before adopting any of the ideas or suggestions in this material, which may or may not be applicable in your jurisdiction or to your specific situation, and may no longer be accurate or prudent in any case.  The opinions and statements at this site were solely those of the author.  They were not and are not those of, nor were they nor are they made on behalf of, any agency of government or anyone else.

Copyright © 1998-2008 Vincent DiCarlo